RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
M••• J••• R••••
- W••••• E••••••••• A••••••• S•••••••• L•• BD affiliated currentsince Jan 2, 2025 · Plymouth, Mn
- N•••••••• I••••••••• C••••••••• formerNov 20, 2023 to Jan 13, 2025 · Lake Oswego, Or
- N•••••••• I••••••••• C••••••••• formerMay 19, 1998 to Nov 20, 2023 · Lake Oswego, Or
- N•••••••• I••••••••• C••••••••• to W••••• E••••••••• A••••••• S•••••••• L••left Jan 13, 2025, registered Jan 2, 2025 (-11 days) · RIA to affiliated broker-dealer or bank · moved with a team
- N•••••••• I••••••••• C••••••••• to N•••••••• I••••••••• C•••••••••left Nov 20, 2023, registered Nov 20, 2023 (0 days) · channel change inside one enterprise, not a move · moved with a team
- M••• J••• R•••• left N•••••••• I••••••••• C••••••••• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2025-01-02)Jan 13, 2025 · Advisor changed firm · fact
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address